C O R P O R AT I O N
CHILDREN AND FAMILIES
EDUCATION AND THE ARTS
The RAND Corporation is a nonprofit institution that helps improve policy and
decisionmaking through research and analysis.
ENERGY AND ENVIRONMENT
HEALTH AND HEALTH CARE
INFRASTRUCTURE AND
TRANSPORTATION
This electronic document was made available from www.rand.org as a public service
of the RAND Corporation.
INTERNATIONAL AFFAIRS
LAW AND BUSINESS
Skip all front matter: Jump to Page 16
NATIONAL SECURITY
POPULATION AND AGING
PUBLIC SAFETY
SCIENCE AND TECHNOLOGY
TERRORISM AND
HOMELAND SECURITY
Support RAND
Browse Reports & Bookstore
Make a charitable contribution
For More Information
Visit RAND at www.rand.org
Explore RAND Testimony
View document details
Testimonies
RAND testimonies record testimony presented by RAND associates to federal, state, or local legislative
committees; government-appointed commissions and panels; and private review and oversight bodies.
Limited Electronic Distribution Rights
This document and trademark(s) contained herein are protected by law as indicated in a notice appearing
later in this work. This electronic representation of RAND intellectual property is provided for noncommercial use only. Unauthorized posting of RAND electronic documents to a non-RAND website is
prohibited. RAND electronic documents are protected under copyright law. Permission is required from
RAND to reproduce, or reuse in another form, any of our research documents for commercial use. For
information on reprint and linking permissions, please see RAND Permissions.
Testimony
The Role of Maritime and Air Power in
DoD’s Third Offset Strategy
David Ochmanek
RAND Office of External Affairs
CT-420
December 2014
Testimony presented before the House Armed Services Committee, Subcommittee on Seapower and Projection Forces on
December 2, 2014
This product is part of the RAND Corporation testimony series. RAND testimonies record testimony presented by RAND associates
to federal, state, or local legislative committees; government-appointed commissions and panels; and private review and oversight
bodies. The RAND Corporation is a nonprofit research organization providing objective analysis and effective solutions that address
the challenges facing the public and private sectors around the world. RAND’s publications do not necessarily reflect the opinions of
its research clients and sponsors. R® is a registered trademark.
C O R P O R AT I O N
Published 2014 by the RAND Corporation
1776 Main Street, P.O. Box 2138, Santa Monica, CA 90407-2138
1200 South Hayes Street, Arlington, VA 22202-5050
4570 Fifth Avenue, Suite 600, Pittsburgh, PA 15213-2665
RAND URL: http://www.rand.org/
To order RAND documents or to obtain additional information, contact
Distribution Services: Telephone: (310) 451-7002;
Email: [email protected]
David Ochmanek1
The RAND Corporation
The Role of Maritime and Air Power in DoD’s Third Offset Strategy2
Before the Committee on Armed Services
Subcommittee on Seapower and Projection Forces
United States House of Representatives
December 2, 2014
The Department of Defense (DoD) has embarked on a new initiative—the Third Offset Strategy—
in order to “sustain and advance America’s military dominance for the 21st century.” The initiative
is necessitated in part by the fact that “DoD no longer holds exclusive access to some of the most
cutting-edge technology the way [it] once did.” For this reason, DoD will intensify its efforts to
“explore and develop new operational concepts, and new approaches to warfighting, war-gaming
and professional military education.”3
This initiative, and the resources required to make it a reality, are urgently needed. As the
Chairman of the Joint Chiefs of Staff, General Martin Dempsey observed in DoD’s report of the
2014 Quadrennial Defense Review, he expects
. . . the risk of interstate conflict in East Asia to rise, the vulnerability of our platforms
and basing to increase, our technology edge to erode, instability to persist in the
Middle East, and threats posed by violent extremist organizations to endure. Nearly
any potential future conflict will occur on a much faster pace and on a more technically
challenging battlefield. And, in the case of U.S. involvement in conflicts overseas, the
homeland will no longer be a sanctuary either for our forces or for our citizens.
4
Present trends, in short, are not favorable. Of particular concern for future U.S. power projection
operations is the accelerating proliferation of systems and concepts aimed at impeding U.S.
forces’ access to key regions in Eurasia and dramatically raising the risks and suppressing the
1
The opinions and conclusions expressed in this testimony are the author’s alone and should not be
interpreted as representing those of RAND or any of the sponsors of its research. This product is part of the
RAND Corporation testimony series. RAND testimonies record testimony presented by RAND associates to
federal, state, or local legislative committees; government-appointed commissions and panels; and private
review and oversight bodies. The RAND Corporation is a nonprofit research organization providing objective
analysis and effective solutions that address the challenges facing the public and private sectors around the
world. RAND’s publications do not necessarily reflect the opinions of its research clients and sponsors.
2
This testimony is available for free download at http://www.rand.org/pubs/testimonies/CT420.html.
3
Secretary of Defense Chuck Hagel, “A New Era for the Defense Department,” Defense One, November 18,
2014.
4
Note that this was written prior to Russia’s recent aggression against Ukraine and the takeover by the socalled Islamic State of large areas od Syria and Iraq. U.S. Department of Defense, Quadrennial Defense
Review 2014, p. 61.
1
operating tempo of those forces that do deploy forward. Key elements of these anti-access/area
denial (A2/AD) strategies are: accurate ballistic and cruise missiles; dense, integrated surface-toair defenses; large numbers of modern 4th generation fighter aircraft and capable air-to-air
missiles; near-real time surveillance and reconnaissance systems; hardened, redundant
command and control networks; electronic warfare (jamming) systems; anti-satellite weapons;
and cyber weapons. Today, China is, by far, the leading exponent of sophisticated A2/AD
capabilities, while Russia has also been able to field substantial numbers of these systems. As
such, China will be the “pacing threat” motivating the modernization of U.S. forces and
capabilities for power projection. 5
States, such as North Korea and Iran, that cannot afford large numbers of these sophisticated
systems are fielding them selectively and in smaller numbers. North Korea has also been
developing and testing nuclear weapons and delivery systems. When deployed in deeply buried
facilities or on mobile launchers, even a small nuclear arsenal can be difficult to neutralize, posing
serious risks of escalation. North Korea and Iran also espouse military doctrines that incorporate
irregular forces and unconventional operations as means of countering U.S. conventional
superiority.
The other factor threatening the future of U.S. power projection capabilities is the growth of
constraints on U.S. defense spending due to the budget deficit and other demands on the federal
budget. Defense appropriations in Fiscal Years 2012 and 2013 were, respectively, 6 percent and
6
13 percent less than that for which the Department of Defense (DoD) had been planning. These
cuts have been imposed against the Pentagon’s “base budget,” meaning that they have come on
top of reductions in spending for combat operations in Iraq and Afghanistan. Moreover, these cuts
have been absorbed by a force that is, in some ways, less well trained and equipped than it was
in 2001. Neither the Air Force nor the Marine Corps, for example, has been able to invest heavily
in new combat aircraft, resulting in a force that is the oldest in history. In the case of the Air Force,
the average age of the aircraft in its fleet now exceeds 26 years.7
5
For a broad assessment of these developments and their potential significance, see David Shlapak,
Question of Balance: The Shifting Cross-Strait Balance and Implications for the U.S., CT-343, RAND, 2010.
See also, Office of the Secretary of Defense, Military and Security Developments Involving the People’s
Republic of China 2014, U.S. Department of Defense; and Evan Braden Montgomery, “Contested Primacy
in the Western Pacific: China’s Rise and the Future of U.S. Power Projection, International Security, Spring
2014, pp. 115-149.”
6
Office of the Secretary of Defense (Comptroller)/Chief Financial Officer, United States Department of
Defense Budget Request Overviews for Fiscal Years 2011, 2012, and 2013.
7
As CSBA’s Todd Harrison has observed, during the buildup associated with the wars in Iraq and
Afghanistan, “Rather than getting larger and more expensive, . . . the military has become smaller, older,
and more expensive.” Todd Harrison, Chaos and Uncertainty: The FY2014 Defense Budget and Beyond,
Center for Strategic and Budgetary Assessments, October 2013. See also
http://www.defenseindustrydaily.com/aging-array-of-american-aircraft-attracting-attention-0901/.
2
Assessing A2/AD Threats
How might a large-scale conflict with a capable adversary unfold in the 2020 time frame? And
what sorts of capabilities will be called for if U.S. forces are to prevail in such a conflict?
Long-Range, Accurate Missiles. The most obvious source of concern for U.S. planners in such
a scenario is the large number of accurate ballistic and cruise missiles that the adversary might
8
field. Accuracy is a key factor. The Scud missiles that Iraqi forces fired at U.S. and coalition
forces in the 1991 Gulf War featured circular errors probable (CEPs) on the order of 1000 meters.
This meant that those missiles could be used to harass operations by forward-based forces at
fixed installations, such as airbases, but that they were unlikely to do significant damage.9 Today,
just as U.S. forces use modern, lightweight inertial measuring units, positioning data from
satellites such as the Global Positioning System (GPS) constellation, and sometimes, terminal
homing sensors to guide weapons to their targets, so do some adversaries.10 These technologies
can allow an adversary to achieve much higher accuracies (on the order of 20-30 meters or less
for some models), meaning that missiles with ranges of 1000 kilometers or more can attack not
only specific installations but particular facilities on those installations with high probabilities of
damage.11 As a result, forward-based forces, such as combat and support aircraft, can now be
vulnerable to being damaged on the ground before they get to the fight. And supplies and
facilities needed to support combat operations, such as fuel, munitions, maintenance hangars,
runways, crew quarters, and communications sites may be vulnerable as well. China has also
reportedly developed ballistic and cruise missiles that can detect and attack large ships at sea,
raising the risks to aircraft carriers, large surface combatants, and other naval components of
U.S. power projection forces.12
U.S. and allied forces are investing in active defense systems, such as Patriot, THAAD, and seabased SM-3 missiles, to shoot down ballistic and cruise missiles. However, the defensive
systems are expensive, they take time to deploy to the theater, and, thus far, have not
consistently achieved high probabilities of kill against the most capable threat systems. As a
consequence, they can be overwhelmed by large salvo attacks and taken out of the fight.
8
For example, DoD estimates that in 2013 China possessed more than 1000 short-range ballistic missiles
(SRBMs) capable of reaching Taiwan. The PLA is also deploying growing numbers of conventionally armed
medium-range ballistic missiles, as well as sea-launched and air-launched land attack cruise missiles.
Military and Security Developments Involving the People’s Republic of China 2014, pp. 6- 9.
9
For an early and seminal assessment of the potential for conventionally armed missiles to threaten
operations at forward airbases, see John Stillion and David T. Orletsky, Airbase Vulnerability to
Conventional Cruise- and Ballistic Missile Attacks: Technology, Scenarios, and U.S. Air Force Responses,
MR-1208-AF, RAND, 1999.
10
Military and Security Developments Involving the People’s Republic of China 2014, p. 40.
11
Shlapak et al, pp. 32-35.
12
Military and Security Developments Involving the People’s Republic of China 2014, pp. 7, 31, 36.
3
Integrated Air Defense Systems (IADS). Radar-guided surface-to-air missiles (SAMs) and their
associated surveillance and control networks have been a feature of modern military operations
since the 1960s. Since the Gulf War, U.S. forces have demonstrated the ability to suppress,
avoid, and degrade these defenses through a combination of dynamic targeting, specialized
radar-homing weapons, electronic jamming, stealth aircraft, and other measures. These
techniques have been instrumental in allowing U.S. and coalition air forces to operate within the
enemy’s airspace largely unimpeded.
Beginning in the late 1990s, first Russia, then China began investing in a new generation of
SAMs that feature powerful tracking and guidance radars equipped with electronic countermeasures and high-performance missiles capable of engaging fighter aircraft at ranges of 125
miles or more. The radars and missile launchers are mounted on mobile vehicles that make them
difficult to locate and target.
13
When fielded in sufficiently dense arrays and supported by
survivable command and control facilities, it can be difficult, dangerous, and time consuming to
suppress these modern IADS.
Fighter Aircraft. Russia and China complement their surface-based air defenses with substantial
numbers of highly capable fighter aircraft, such as the Russian-made Su-27. Roughly comparable
in range, payload, and aerodynamic capabilities to the formidable U.S. F-15C fighter, these
aircraft can operate over areas not well covered by SAMs, threatening both combat aircraft
(fighters and bombers) and support assets, such as aerial refueling and surveillance aircraft.
Equipped with modern air-to-air missiles and backed by robust networks for command and
control, Russian and Chinese fighters today represent a more formidable challenge to air
superiority than any adversary the United States has faced since World War II.
th
To date, neither Russia nor China has fielded an operational 5 generation fighter, such as the
U.S. F-22 or F-35. In a direct engagement, assuming aircrews with comparable skills, 5th
generation fighters would be expected to achieve highly favorable exchange ratios against their
4th generation foes. But only a small portion of the U.S. fighter force to date has been equipped
with 5th generation aircraft and Russia and China are both building their own advanced fighters.14
Moreover, Russian and Chinese commanders would strive to limit the flow of U.S. combat aircraft
13
http://www.globalsecurity.org/military/world/russia/s-300pmu2.htm.
China has flown prototypes of the J-20 advanced fighter, which has been characterized as a “4.5
th
generation” aircraft. Today, the United States fields 120 5 generation F-22 fighters in operational units out
of a total force of approximately 2,700 Air Force, Navy, and Marine Corps front-line fighters. See Bill
Sweetman, “J-20 Stealth Fighter Design Balances Speed and Agility, Aviation Week and Space Technology,
November 3, 2014. See also Government Accounting Office, Tactical Aircraft: DoD’s Ability to Meet
Requirements is Uncertain, with Key Analyses Needed to Inform Upcoming Investment Decisions, GAO-10789, July 2010, p. 4 (figures adjusted to reflect only combat coded aircraft).
14
4
into the theater and into the fight through heavy attacks on their forward operating bases. It is
therefore possible that in a conflict involving either of these states U.S. and allied air forces would
have to fight outnumbered, at least in the conflict’s early phases.15
These developments will make it much more costly for the United States and its allies to gain the
air superiority to which they have grown accustomed. In a future conflict air superiority could be
contested for days or weeks and achieved only after incurring potentially significant losses.16
The Struggle for Information Superiority. Adversaries that have studied U.S. military
campaigns since Operation Desert Storm understand the critical role that information superiority
plays in modern military operations. In that conflict and others since then against conventional
foes, U.S. forces have been able to develop a “common operating picture” (COP) of the
battlefield, providing commanders and front-line units with current information about the location
and status of both enemy and friendly units. The picture is built by fusing information from myriad
sources, including airborne and space-based sensors, human intelligence, and reports from
friendly units. The picture is not perfectly accurate or entirely comprehensive, of course, but U.S.
commanders today have far better situational awareness of a large and complex battle space
than commanders at any time in history. Importantly, they have also been able to degrade the
enemy’s COP.
Potential adversaries are striving to develop similar capabilities, fielding sensor systems on
satellites, unmanned aerial vehicles, and other airborne sensor platforms; building command
centers where the information from these sensors is fused; and using multiple communication
systems to connect these nodes and units in the field. They are also working to degrade the
quality, timeliness, and reliability of the COP available to U.S. forces. China, for instance, has
fielded large numbers of electronic jamming systems to degrade U.S. theater communications.
17
China’s forces also have capabilities to interfere with the sensors on surveillance satellites and to
destroy the satellites themselves.18 And numerous adversaries are using cyber operations to
attempt to penetrate U.S. military information networks in order to both extract information and to
disrupt operations. As a result, U.S. forces cannot be confident that, in a conflict with the most
capable adversaries, they would have an accurate and timely view of the battlefield or that they
could communicate effectively at all times in the theater.
15
Shlapak et al, p. 67.
Shlapak et al, p. 118.
17
J. Randy Forbes, “Caucus Brief: Chinese Military Capable of Jamming U.S. Communications System,”
The Congressional China Caucus, September 20, 2013,
http://forbes.house.gov/news/documentsingle.aspx?DocumentID=350448.
18
Wendell Minnick, “China Developing Capability to Kill Satellites, Experts Say,” Defense News, August 4,
2014.
16
5
Undersea Warfare. The PLA Navy is building modern submarines, including nuclear-powered
vessels, and equipping them with capable weapon systems, including long-range anti-ship and
land attack cruise missiles. And while DoD judges that the PLA Navy’s deep-water antisubmarine warfare capability “seems to lag behind its air and surface warfare capabilities,” it
notes that China “is working to overcome shortcomings in this and other areas.”19
In short, the loss of the near-monopoly that U.S. forces have enjoyed over a wide range of key
capabilities can have potentially profound effects on their ability to project power and to defend
U.S. interests, allies, and partners. Analyses of future conflicts against the most capable
adversary forces in the 2020 time frame and beyond suggest that U.S. and allied forces will have
to fight for advantages that they have heretofore taken almost for granted. Without very
substantial investments in new capabilities and concepts for power projection, U.S. and allied
decision makers could lose confidence in the United States’ ability and will to defeat aggression.
Should this happen, our role as security partner of choice would be called into question, and our
influence and ability to help sustain a stable and economically vibrant world order would erode.
DoD’s Third Offset initiative or something very much like it is, therefore, needed if U.S. forces are
to acquire the capabilities and develop the new operating concepts called for to meet this
stressing set of challenges.
Meeting the Challenge: Developing New Military Concepts and Capabilities
If U.S., allied, and partner forces are to retain credible capabilities to deter and defeat an
adversary with advanced military capabilities, new investments in platforms, weapons,
infrastructure, and support systems will be called for. But meeting the challenge will require more
than simply buying and fielding new and better gear. The scope of the A2/AD challenge posed by
the most capable adversaries also calls for new concepts for the conduct of power projection
operations. Money, time, and talent must therefore be allocated not only to the development and
procurement of new equipment and infrastructure but also to concept development, gaming and
analysis, field experimentation, and exploratory joint force exercises.
The following key capability areas merit priority attention:

Enhanced capabilities to thwart the enemy’s attacking forces early in a conflict.
Adversaries intend to use their A2/AD capabilities to create a window of opportunity
during which they can achieve their operational objectives. In response, the United
19
Military and Security Developments Involving the People’s Republic of China 2014, pp. 31-32.
6
States and its allies must find more ways to damage and destroy the adversary’s
attacking forces and suppress their key supporting assets—his operational centers of
gravity—early in a conflict; i.e., prior to gaining air and maritime superiority in
proximity to adversary territory and forces.20 This is key. Because U.S. forces have
for so long been confident in their ability to dominate these domains in conflicts
against less capable adversaries, they have not, for the most part, invested in
capabilities for ISR and strike in contested environments. This is not a “first strike”
capability; it is about defeating those forces that the adversary is using to attack a
U.S. ally or partner or U.S. forces and bases.

Resilient basing – Making forward-deployed forces and bases (including surface
ships) more survivable (see below).

Rapid suppression/destruction of enemy air defenses, including jamming of
radars, disrupting command and control, destroying missiles on their launchers, and
neutralizing large formations of fighter aircraft.

Degrading the enemy’s situational awareness and control capabilities while
enhancing the resiliency of ours.

Cyber defense and offense - Making the information networks used by U.S. forces
less vulnerable to cyber attacks and at the same time developing improved tools for
degrading the networks of adversary forces.
It is beyond the scope of this statement to identify specific programs, systems, or technology
areas most appropriate for providing these capabilities. However, some broad implications are
clear:

The United States should continue to modernize its fleets of both long-range
and shorter-range military aircraft. One reaction to the growth of adversary strike
capabilities has been to seek ways to conduct more joint operations from bases
20
The key term here is operational centers of gravity. Successful defense will require that U.S. and allied
forces be able to quickly damage and destroy the forces that the adversary is using to prosecute aggression.
If they can do that it will not be necessary or desirable to threaten to impose additional costs through
escalatory attacks, either vertical (i.e., against political or economic centers of gravity) or horizontal (i.e.,
against military forces far outside of the contested area). As the United States develops new capabilities,
concepts, and postures for countering A2/AD threats, it should make clear through its public statements and
its military exercises that it does not intend such escalation, in order to minimize prospects for a destabilizing
dynamic.
7
beyond the range of the most numerous threats (e.g., short- and medium-range
ballistic missiles and air-launched cruise missiles). This makes sense to some degree
and bombers, long-range air- and sea-launched cruise missiles, aerial refueling
aircraft, and long-range, long-dwell ISR platforms will play important roles in any
future U.S. CONOPs for power projection. But high-performance shorter-range
systems (i.e., 5th generation fighter aircraft) will also be needed in order to defend
against enemy bomber raids and contest for freedom of maneuver in contested battle
space (e.g., over the Taiwan Strait). The likelihood that U.S. air forces will have to
fight outnumbered for some time underscores the need for fighter aircraft and air-toair weapons that are qualitatively superior to those of the most capable potential
adversary states.

Larger stocks of advanced weapons and munitions are called for. A conflict with
an advanced A2/AD adversary will consume large quantities of missiles and precision
guided munitions. Early on, weapons such as anti-ship and land-attack cruise
missiles that make possible attacks on key targets from ranges beyond the reach of
the adversary’s most capable air defense systems will be in high demand. And
because U.S. forces will be encountering far larger arrays of advanced fighter aircraft
and SAMs than in previous conflicts, they will expend large numbers of air-to-air and
air-to-surface missiles. Such weapons are costly but are essential to getting the most
capability out of a force that is sortie-limited.

New approaches are required for basing and operating forward forces. During
the Cold War, airbase survivability was provided at forward bases primarily by
hardening key facilities, such as aircraft hangars, maintenance structures, weapons
storage, and crew quarters. With the advent of highly accurate ballistic and cruise
missiles, broader-based approaches are essential. Efforts should include: (1)
hardening selected facilities in theaters threatened by missile and air attacks, (2)
ensuring that land-based forces can operate from a large number of austere facilities,
(3) investing in more capabilities for rapid repair of damaged facilities, especially
runways, (4) confusing enemy targeting of both land bases and surface ships through
camouflage, decoys, and deception measures, and (5) providing better protection of
key facilities through active defenses against ballistic and cruise missiles. The last of
these approaches is particularly challenging given the high cost, modest
effectiveness, and vulnerability of theater ballistic missile defense systems. Efforts
are underway to develop lower-cost ways of intercepting ballistic missiles and these
should receive high priority. In the near term, identifying new airfields that U.S. forces
8
might use in wartime, making modest improvements to the infrastructure at those
airfields where feasible, developing capabilities and procedures for operations at
unimproved airfields, and conducting exercises at such fields could contribute greatly
to reducing the vulnerability of U.S. forces in wartime while strengthening deterrence.
This calls for developing relationships with new partners and deepening existing
ones. In addition, more dispersed and expeditionary basing will place new burdens
on joint logistics, base security, and engineering assets.

U.S. assets based in space will need to be made more robust. Much of the
outcome of the fight for information superiority will turn on the extent to which one
side or the other can maintain such critically important capabilities as over-thehorizon communications, surveillance, and positioning, many of which are on
satellites. Many adversaries have or are developing weapons that can jam or
otherwise interfere with the operations of these satellites. And Russia and China
have anti-satellite missiles that can destroy satellites, at least in low-earth orbit.
Countering these threats will call for enhanced space situational awareness systems,
which monitor activities in space and characterize and track objects there. These
efforts will need to be complemented by a host of measures to make satellite
21
constellations less vulnerable. Policy makers should also consider the potential
benefits and costs of developing airborne and terrestrial complements to selected
space-based capabilities and fielding offensive space capabilities, as a means of
both deterring attacks on U.S. assets and degrading adversaries’ C4ISR.
Of course, countering the threats posed by potential adversary states is not solely a problem for
the United States. In fact, it would be unwise and infeasible for the United States to attempt to
address these challenges unilaterally. Allies and partners, particularly those directly or indirectly
threatened by adversary activities or in the same region, have a strong interest in ensuring that
their forces can impose a high price on an aggressor and contribute effectively to combined
regional operations that may be led by the United States.
With these goals in mind, the proliferation of systems and technologies that are causing U.S.
planners such concerns can be turned to our advantage. If allies and partners invest wisely, they
can impose smaller-scale A2/AD challenges on the states that are wielding them against them.
21
One promising approach is to make greater use of commercial satellites (both U.S. and foreign-owned
and operated). DoD can make direct use of imaging and communications satellites, for example. It can also
put its own payloads on satellites launched primarily for other customers. Doing so complicates the
adversary’s targeting problem. See U.S. Department of Defense and Office of the Director of National
Intelligence, National Security Space Strategy: Unclassified Summary, January 2011, pp. 9 – 11.
9
Taiwan, for example, has both the economic means and the technical and operational savvy to
develop, deploy, and operate systems such as short-range UAS and anti-ship cruise missiles,
shallow water mines, rocket artillery, mobile short-range air defenses, and communications
jamming gear, all of which, properly employed, could contribute mightily to an effective defense
against invasion.22 Similar capabilities could also help states such as the Philippines and
Vietnam, which have faced coercive threats from China over control of disputed territories in the
South China Sea, to better monitor and protect areas close to their shores.
GCC (Gulf Cooperation Council) countries concerned about aggression from Iran likewise could
invest in hardened airbases, mine-sweeping craft, missile defenses, UAS, and other capabilities
useful in countering conventional and unconventional threats. And through regular combined
forces exercises and planning and more inter-operable communications networks, the United
States, its allies, and partners can make the whole of their capabilities as great as the sum of
their parts. But make no mistake: enhancements such as these cannot take the place of U.S.
forces and the commitment to use them as the means of offsetting major imbalances in military
power.
Ingredients for Success
If the Third Offset Strategy—or any serious force planning effort undertaken in this challenging
environment—is to succeed, the following elements will be essential:

Deliberations and decisions about resource allocation must be underpinned by rigorous
and credible joint analysis of future operational challenges and potential solutions to
them. Specifically, DoD will need to reconstitute and reinvigorate its ability to conduct
iterative, carefully adjudicated tabletop exercises and model-based campaign
assessments in order to identify key gaps in programmed capabilities, test nascent
operational concepts for power projection, and evaluate candidate systems to enable
those concepts.

More resources will be needed for modernizing elements of the force and supporting new
operational concepts. Many practical, proven ways of addressing key A2/AD threats are
left unfunded or underfunded today because of budget constraints. If the limits on DoD’s
topline imposed by the Budget Control Act are not lifted in FY 2016 and beyond, it is very
22
See Michael Lostumbo, A New Taiwan Strategy to Adapt to PLA Precision Strike Capabilities, RAND and
The Institute for National Security Studies, 2011, pp. 7-10.
10
difficult to see how even a flawlessly executed Third Offset approach could be sufficient
to meet growing challenges.

Congress must partner with the Administration to allow greater flexibility and agility in
managing defense programs and resources. As Secretary Hagel has observed, DoD
needs “flexibility to undertake critical cost-saving measures, from reducing excess basing
to reforming military compensation to shedding outdated platforms and systems.”23
Conclusion
Assessing trends in the military balance between the United States and China or other potential
adversaries, some observers have concluded that the competition is becoming too demanding
and that efforts to maintain America’s status as the security partner of choice for many of the
world’s most important states are economically unaffordable, operationally infeasible, or both.
Some counsel a “strategic retrenchment” and adoption of a strategy of “offshore balancing,”
under which the United States would disengage from its major security commitments and rely on
“regional power balances to contain rising powers.”24 Others claim that the United States can
deter adventurism, coercion, and aggression by China and other adversaries “on the cheap” by
threatening to impose economic costs in response to aggression and/or by building up the selfdefense capabilities of regional allies and partners.25
The problem with these approaches, put bluntly, is that they are not likely to work. They can be
valuable complementary approaches to a strategy aimed at denying Chinese forces their
objectives, but by themselves such indirect approaches are not likely to deter or defeat a
determined China or other powerful state. Gaming and analysis of hypothetical conflicts involving
China and neighboring states in the 2020 time frame suggest that in plausible scenarios, if the
goal is to defeat a large Chinese military operation, there is simply no substitute for the type of
and level of military support that the United States uniquely can provide. And this support must be
brought to bear quickly and be sustained throughout the campaign.
The most credible deterrent to aggression is one that presents the adversary with the prospect of
failure: He perceives that his forces will be unlikely to achieve the operational objectives assigned
23
Hagel, “A New Era for the Defense Department,” p. 3.
Christopher Layne, “America’s Middle East Grand Strategy After Iraq: The Moment for Offshore Balancing
Has Arrived,” Review of International Studies, January 2009, p. 10.
25
For a discussion of the merits of a “war of economic attrition,” see T.X. Hammes, “Offshore Control: A
Proposed Strategy for an Unlikely Conflict,” Strategic Forum, National Defense University, June 2012. For
an assessment of the potential of allies and partners to enhance their self-defense capabilities, see David
Gompert and Terrence Kelly, “Escalation Clause: How the Pentagon’s New Strategy Could Trigger War With
China,” Foreign Policy, August 2, 2013.
24
11
to them due to a combination of the capabilities of the defending forces and will to employ them.
Posturing forces to support such a robust direct defense or denial strategy can be difficult for a
nation that is called upon to project power over long distances. But future U.S. forces, properly
modernized, postured, and employed in concert with the forces of regional allies and partners,
should be capable of posing very significant obstacles to aggression by potential adversary
states. This is not to imply that doing so will necessarily be easy or inexpensive, but the costs of a
credible defense posture are worth the security advantages it provides. This, as I understand it, is
the prime motivation behind DoD’s Third Offset initiative. It is a worthy and, I believe, achievable
objective.
12